Mitchell Atkins is a Principal with FirstMark Regulatory Solutions, Inc., a compliance consulting firm based in Fort Lauderdale, Florida that he founded in 2013. He is a consultant to FINRA-registered broker dealers and to registered investment advisers. His recent client focuses include: cyber security, FINRA membership applications, risk-based supervisory systems, supervisory controls, non-traded REIT compliance, variable contract supervision, anti-money laundering independent testing, litigation support, and Regulation SP and S-ID compliance.
Mr. Atkins has 20 years of experience in various roles at FINRA (previously NASD), most recently as Senior Vice President and Regional Director with overall responsibility for four districts comprising FINRA’s South Region (home to 850 brokerage firms). He oversaw the region’s routine inspection program, sales practice special investigations, financial surveillance, and membership application programs. He was also a member of the FINRA Member Regulation Senior Management Team.
Mr. Atkins oversaw the development of innovative initiatives such as the National Anti-Money Laundering Investigative Unit in 2012. He had a significant role in the FINRA Risk Platform Redesign which transformed the FINRA examination program. Also, he was a key member of the team that led the NASD/NYSE integration in 2007. Mr. Atkins oversaw the successful startup of the Florida District Office of FINRA in 2005.